Login

We use necessary cookies to make our site work (for example, to manage your usage journey on the site). We also use some additional cookies (including third-party cookies) to help us improve the site functionality and user experience. For more information, on how these cookies work please see our Cookies Notice.

Check your settings below and select the cookies you’re happy with.

Strictly Necessary Cookies

These cookies are necessary for the website to function and cannot be switched off in our systems. They are usually only set in response to actions made by you which amount to a request for services, such as setting your privacy preferences, logging in or filling in forms.

Non-essential Cookies

These cookies are used for various purposes:

To allow us to count visits and traffic sources so we can measure and improve the performance of our site. They help us to know which pages are the most and least popular and see how visitors move around the site. All information these cookies collect is aggregated and therefore anonymous. If you do not allow these cookies we will not know when you have visited our site and will not be able to monitor its performance.
To provide enhanced functionality and personalisation. They may be set by us or by third party providers whose services we have added to our pages. If you do not allow these cookies then some or all of these services may not function properly.
Set by our site by our advertising partners. They may be used by those companies to build a profile of your interests and show you relevant adverts on other sites. They do not store information which allows us to identify you personally but are based on uniquely identifying your browser and internet device. If you do not allow these cookies, you will experience less targeted advertising.

Find out more about www.allaboutcookies.org or view our cookie policy.

Skip to main content

FCA Website
PRA Rulebook
Glossary
Useful Links
Contact Us

Search the Handbook

Advanced Search

Home
FCA Handbook
What's New
Instruments
Forms
Guides
Technical Standards
Level 3 Materials

Join Up
Log in

Login

User name

User password

Forgotten your password? Register a new account

Home
FCA Handbook
Search Results

Search Result

501 - 520 of 1301 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (419)
Authorised persons (256)
Authorisation (235)
European Economic Area (227)
Investments (201)
Group companies (175)
Employees (174)
Directors (162)
Supervision (147)
Investment activities (142)
Investor (134)
Recognised investment exchanges (134)
Providers (127)
Non United Kingdom (125)
Members (111)

Filter by Modules

Modules

Filter by Documents

Documents

Filter by Keywords

Keywords

Effective Period

From To

Similar To

Section Provision

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

…

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

…

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

…

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

…

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

…

DISP App 3.2 The assessment of a complaint

As Published: 2017

DISP App 3.2 The assessment of a complaint

…

SYSC 22.3 Drafting the reference and the request for a reference

As Published: 2016

SYSC 22.3 Drafting the reference and the request for a reference

…

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

…

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

…

REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

…

PERG 8.6 Communicate

As Published: 2005

PERG 8.6 Communicate

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

…

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

…

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

…

SUP 1A.3 The FCA's approach to supervision

As Published: 2019

SUP 1A.3 The FCA's approach to supervision

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

Previous page
1
..
25
26
27
28
..
66
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy